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28 October 2016

EBA(欧州銀行機構)、銀行の内部ガバナンスに関するガイドラインの改正について市中協議


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The EBA launched a public consultation on its revised Guidelines on internal governance. These draft Guidelines aim at further harmonising institutions' internal governance arrangements, processes and mechanisms across the EU, in line with the new requirements in this area introduced in the CRD.


Weaknesses in corporate governance in a number of institutions have contributed to excessive and imprudent risk-taking in the banking sector, which has led to the failure of individual institutions and systemic problems in Member States and globally.

In order to address the potentially detrimental effects of poorly designed corporate governance arrangements on the sound management of risk, and to take into account the new requirements introduced in the Capital Requirements Directive (CRD) in this area, the European Banking Authority (EBA) is updating its Guidelines on internal governance, originally published on 27 September 2011.

These draft Guidelines put more emphasis on the duties and responsibilities of the management body in its supervisory function in risk oversight, including the role of their committees.

They aim at improving the status of the risk management function, enhancing the information flow between the risk management function and the management body and ensuring effective monitoring of risk governance by supervisors.

The ‘know-your –structure' and complex structures sections, especially following the ‘Panama events', have been strengthened to ensure that the management body is aware of the risks that can be triggered by complex and opaque structures and to improve transparency.

In addition, the framework for business conduct has been further developed and more emphasis is given to the establishment of a risk culture, a code of conduct and the management of conflicts of interest.

Finally, more guidance is provided on the risk management framework, on how internal control functions are organised and how internal controls are implemented.

Comments to this consultation can be sent to the EBA by 28 January 2017. A public hearing will take place at the EBA premises on 5 January 2017 from 14: 00 to 17:00 UK time.

Press release

Consultation paper



© EBA


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